Foreword Vice-Admiral Sir Adrian Johns KCB CBE DL Second Sea Lord and Commander-in-Chief Naval Home Command (2005–8) Governor and Commander-in-Chief Gibraltar (2009–13) President of the Navy Records Society I recall only too well the impact of the Practical Leadership Tests we suffered as young officers at Dartmouth. We thought then that leadership was all about self-projection, generating a sense of urgency and taking care of the team. But we soon learned that real leadership came into play when things went wrong. How many times do we hear today that failure is the result of a lack of leader- ship? Often perhaps, but that may be a simplistic conclusion and there are two truisms worth bearing in mind: no plan survives first contact with the enemy; and everything in war is simple but the simplest things are often the most dif- ficult to achieve. This collection of essays sprang out of a conference held at the National Museum of the Royal Navy in 2011 and provides an illuminating insight into naval leadership during a period of significant historical turbulence. Those in command at sea at that time enjoyed very limited communications and intel- ligence that often extended not much further than the visual horizon. Leaders had to rely on their own raw initiative and judgement in a very different way from today’s commanders in this globally networked world. But while in practical terms leadership may be exercised rather differently today, the insights offered in these essays point to enduring themes and a better understanding of a complex subject. I am delighted that this collection is dedicated to the memory of Professor Colin White, sadly departed but an old friend and an inspiring naval historian. He would have approved! Contributors Dr Carlos Alfaro Zaforteza (King’s College, London) is a visiting research fellow at the Department of War Studies. He completed his PhD thesis there in 2011, on Sea Power, State and Society in Liberal Spain, 1833–1868. He has published on Spanish naval history in American, British and Spanish scholarly journals and edited books. He is also co-author of the book European Navies and the Conduct of War (Routledge, forthcoming). Professor Olivier Chaline (Université de Sorbonne, Paris IV) is a French modernist historian. He has held professorships at the University of Rennes II (1999–2001) and the University of Paris IV (Paris-Sorbonne), a post he has held since 2001. He is Director of the Centre for Maritime Archaeology and Historical Research and Head of the international research program about Admiral de Grasse’s fleet. Dr Michael Duffy (University of Exeter) has retired from his positions as Head of History and Director of the Centre for Maritime Studies at Exeter University but remains a University Fellow and is presently Vice-President of the Navy Records Society. He was the Editor of The Mariner’s Mirror: The Journal of the Society for Nautical Research throughout the 1990s. His books on naval subjects include The Military Revolution and the State 1500–1800 (1980), Soldiers, Sugar and Seapower (1987), Parameters of British Naval Power 1650–1850 (1992), The New Maritime History of Devon (1992, 1994) edited with S. Fisher, B. G reenhill, D. Starkey and J. Youings, The Glorious First of June: A Naval Battle and its xii Naval Leadership in the Atlantic World ftermath (2003) edited with R. Morriss, Touch and Take: The Battle of Trafal- A gar (2005) and, with R. Mackay, Hawke, Nelson and British Naval Leadership in the Age of Sail 1747–1805 (2009). Dr Agustín Guimerá (Instituto de Historia, Consejo Superior de Investiga- ciones Científicas, Madrid) is the author of numerous studies of comparative naval leadership, including: ‘Métodos de liderazgo naval en una época revolu- cionaria: Mazarredo y Jervis (1779–1808),’ in Manuel Reyes García-Hurtado, Domingo L. González-Lopo and Enrique Martínez-Rodríguez, eds., El mar en los siglos modernos (Santiago de Compostela: Xunta de Galicia, 2009), vol. 2, 221–33; Agustín Guimerá and José María Blanco Núñez, eds., Guerra naval en la Revolución y el Imperio (Madrid: Marcial Pons Historia, 2008); Agustín Guimerá and Víctor Peralta, El Equilibrio de los Imperios: de Utrecht a Trafalgar (Madrid: FEHM, 2005). Professor Richard Harding (University of Westminster) is Professor of Organ- isational History and Head of the Department of Leadership and Professional Development at the University of Westminster. His recent works include Mod- ern Naval History: Debates and Prospects (London: Bloomsbury Press, 2015); The Emergence of Britain’s Global Naval Supremacy: The War of 1739–1748 (Woodbridge: Boydell Press, 2010), Naval Leadership and Management, 1650– 1950 (Boydell Press, 2012) (edited with Helen Doe), A Great and Glorious Vic- tory: New Perspectives on the Battle of Trafalgar (Barnsley: Seaforth Publishing, 2008). Professor Andrew Lambert (King’s College, London) is Laughton Professor of Naval History in the Department of War Studies at King’s College, Lon- don, and Director of the Laughton Naval History unit housed in the depart- ment. His work focuses on the naval and strategic history of the British Empire between the Napoleonic Wars and the First World War. His books include: The Crimean War: British Grand Strategy against Russia 1853–1856 (Manchester: 1990), ‘The Foundations of Naval History’: Sir John Laughton, the Royal Navy and the Historical Profession (London: 1997), Nelson: Britannia’s God of War (London: 2004), Admirals (London: 2008), Franklin: Tragic Hero of Polar Navi- gation (London: 2009) and The Challenge: Britain versus America in the Naval War of 1812 (London: 2012), which won the Anderson Medal of the Society for Nautical Research for the best maritime history book of that year. Contre-Amiral Rémi Monaque (Marine française) is a rear Admiral (retired) of the French navy. Since 1992, he has devoted all his time to naval history research. His main books are: Latouche-Tréville, l’amiral qui défiait Nelson, Trafalgar, Suffren, un destin inachevé and, recently published, Une histoire de la marine de guerre française. He published several articles in The Mariner’s Contributors xiii irror and was a co-author of The Trafalgar Companion published by Alexan- M der Stilwell in 2005. Dr. Agustín Ramón Rodríguez González is a member of the Real Academia de la Historia, Madrid, Spain. His works on the eighteenth-century Span- ish navy include ‘Los españoles en Trafalgar: Navíos, cañones, hombres y una alianza problemática’, in Agustín Guimerá, Alberto Ramos and Gonzalo Butrón, eds., Trafalgar y el mundo atlántico (Madrid: Marcial Pons Historia, 2004); Trafalgar y el conflicto naval anglo-español del siglo XVIII (San Sebastián de los Reyes: Actas, 2005); ‘Las innovaciones artilleras y tácticas españolas en la campaña de Trafalgar,’ in XXXI Congreso Internacional de Historia Militar (Madrid, 21–27 Agosto 2005) (Madrid: Ministerio de Defensa, 2006); Victorias por mar de los españoles (Madrid: Grafite Ediciones, 2006); ‘Cádiz en la estrate- gia naval de la Guerra de la Independencia, 1808–1814’, in Agustín Guimerá and José M. Blanco (coords.), Guerra naval en la Revolución y el Imperio: Blo- queos y operaciones anfibias, 1793–1815 (Madrid: Marcial Pons Historia, 2008); ‘La Marina Ilustrada: Reflexiones sobre su eficacia combativa’, in Manuel R. García-Hurtado, ed., La Armada española en el siglo XVIII. Ciencia, hombres y barcos (Madrid: Sílex, 2012); ‘Les objectifs de la marine espagnole,’ in Olivier Chaline, Philippe Bonnichon and Charles-Philippe de Vergennes (dir.), Les marines de la Guerre d’Independance américaine (1763–1783). I. L’instrument naval (Paris: PUF, 2013). Dr Catherine Scheybeler worked at the travel and exploration department of Bernard Quaritch, Antiquarian Booksellers, Ltd., from 2005 to 2009. For two of these years she studied for an MA in the History of Warfare at the War Studies Department of King’s College, London, passing with a distinction before con- tinuing on to complete a full-time PhD in War Studies in 2014. Her thesis was on Spanish naval policy during the reign of Ferdinand VI (1746–59). Since her PhD, Catherine has written Africana: A Distant Journey into Unknown Lands. The Paolo Bianchi Collection of Works on the Exploration of Africa up to the Year 1900 (Shapero, 2014). Professor Simon Surreaux (Centre Roland Mousnier), agrégé de l’Université, PhD in History, researcher associated with the Centre Roland Mousnier (Paris-Sorbonne University), has taught in Paris IV-Sorbonne University and Charles De Gaulle-Lille 3. Since September 2014, he has been Professor in preparatory classes to business schools in France, in Lyon and Saint-Etienne. Besides many articles on the place and role of the marshals of France of the Enlightenment in the cultural, political, diplomatic and military domains, he participated, supervised by Professor Lucien Bély, in the Dictionary Louis XIV (Paris: Robert Laffont, 2015). He published in particular: Les maréchaux de France des Lumières. Histoire et dictionnaire d’une élite militaire sous l’Ancien xiv Naval Leadership in the Atlantic World Régime (Paris: SPM-L’Harmattan, 2013). ‘Aimez-moi autant que je vous aime’. Correspondance de la duchesse de Fitz-James 1757–1771 (Paris: Vendémiaire, 2013). His PhD thesis, defended at Paris-Sorbonne University in 2011 on Les maréchaux de France au XVIIIe siècle. Histoire sociale, politique et culturelle d’une élite militaire, received the Daniel and Michel Dezés of the Fondation de France prize in March 2012. His research interests are political and institu- tional, military and naval, diplomatic and cultural history in the seventeenth and eighteenth centuries. PA RT O N E Naval Leadership: A Voyage of Discovery I NT RODUCT I ON Naval Leadership in the Age of Reform and Revolution, 1700–1850 Richard Harding* and Agustín Guimerᆠ*University of Westminster † Instituto de Historia, Consejo Superior de Investigaciones Científicas, Madrid In 1995 Rear Admiral James Goldrick called for historians of modern navies to analyse ‘much more comprehensively the multitude of technological, financial and operational issues involved in decision-making for naval development’. In doing so he called for these historians to replicate the technical mastery of the subject that he felt ‘has hitherto largely been confined to students of the age of sail’.1 While this reflected the relative interest in the context of naval decision- making displayed by historians of different periods, there was one aspect in which the level of mastery was possibly reversed – that of naval leadership. Today, leadership is one of the most contested aspects of organisational behaviour and analysis. It is a subject of intense study for psychologists, soci- ologists, anthropologists, political scientists and, to a lesser degree, historians. The academic discussions concerning definitions, sources of leadership power, its distribution and its meaning resonate far beyond these disciplines into cul- tural studies, other social discourses and the wider public domains of policy, politics, business and entertainment.2 How to cite this book chapter: Harding, R and Guimerá, A. 2017. Introduction: Naval Leadership in the Age of Reform and Revolution, 1700–1850. In: Harding, R and Guimerá, A (eds.). Naval Leadership in the Atlantic World. Pp. 3–7. London: University of Westminster Press. DOI: https://doi.org/10.16997/book2.a. License: CC-BY-NC-ND 4.0 4 Naval Leadership in the Atlantic World Whether it is ethics, organisational efficiency and effectiveness, interna- tional relations or general social relations, the word ‘leadership’ is seldom far from the centre of the debate. Better, more effective, more authentic leader- ship is almost always presented as at least part of the answer to the problems posed. For individuals, personal development often has the sub-text of becom- ing leaders in one shape or another. Lack of leadership is presented as the contemporary problem, becoming a leader is the driving ambition for right- minded people and good leadership is the panacea. The process by which this term has become so embedded in Western social relations is far from being understood. Even the first steps towards this understanding are faltering in as much as the definition of leadership mutates in different contexts and socie- ties. Like so many other terms that underpin modern social discourses, the meaning of leadership and its practice runs a gamut of interpretation, from those who insist it is a special form of activity that can only be understood by highly trained or encultured specialists to those who see its performance as little more than everyday activity in particular circumstances.3 Military organisations are far from immune from this contemporary con- cern. Indeed, the reverse might be true – they are particularly enthralled with understanding the concept. The quality of leadership lies at the heart of their perceptions of success and failure, organisational design and the real, lived experience of the members of those forces. Challenges from the battlefield to the budget settlements have implications for the practice and theory of leader- ship. Thus, for the general public and military organisations there is no lack of advice or publications on the theme. Historians have contributed their share to the outpouring of work on leader- ship, and naval historians have never lagged behind. In 2005, the bicentenary of the Battle of Trafalgar was commemorated in Britain in a public manner which no individual battle (except, perhaps, the Battle of Britain in 1940) has known in the last fifty years. Central to this was the figure of Horatio Lord Nelson (1758–1805), the great hero-leader who died at the moment of his greatest victory, which, in the public’s imagination at least, saved Britain from immi- nent invasion by the French Emperor Napoleon. The bicentenary provided the occasion to burst many myths, including that of imminent invasion. Equally important was the chance to review the leadership of the nations and fleets that were involved in the battle. The essays, books and conference proceedings that emerged from that commemoration did a great deal to cause historians to rethink the idea of leadership in the early nineteenth-century navies. What became obvious was that far from the last word having been said on naval lead- ership, there were many aspects of the phenomenon that had been glossed over, encrusted with nationalist myth or lost in the passage of time. One result of this was the convening of an international conference at the National Museum of the Royal Navy, Portsmouth, in December 2011. It brought together speakers from Spain, France and Britain to discuss naval Naval Leadership in the Age of Reform and Revolution, 1700–1850 5 leadership in the period from 1700 to 1850. They explored the subject from the level of national policy to tactical command. This collection of essays emerged from that first exchange of views. They are not the proceedings of the confer- ence. Some essays have been modified as a result of discussions and subsequent research, and another has been added as a result of lacunae that were identified at the conference. However, they do represent the balance of views, writing and interests that were evident at that gathering. They provide insights into how navies operated in a period of long-term, high-intensity global conflict. They show how important it was for navies to be integrated into the political con- text of their host societies. The reputation of naval officers, their contacts with political elites and how navies are deployed are subjects covered by Surreaux, Chaline, Harding and Scheybeler. At sea the admirals were usually isolated from these domestic pressures (although as the study of d’Orvilliers shows, traditional social relations were not left behind at the shoreline). These offic- ers commanded great power in the form of the fleets they led. Their decisions could have huge consequences for the societies to which they owed allegiance. Their performances were judged by contemporaries and became part of the historical narrative of nations. The essays on Mazarredo, Suffren, Barceló, Sala- zar and Napier all pose different questions as to how this behaviour has been interpreted and integrated into the traditional national narratives. Here we see very different approaches to command in relation to subordinates, relations with the political masters and, crucially, in the face of the enemy. Taken as a whole, what do these essays tell us? The essays focus on a period of major change. During the eighteenth century, navies became one of the main vehicles of geopolitical and economic strategy for European states extending their influence on a global scale. The range, robustness and impact of navies across the world expanded tremendously. Navies were very much at the forefront of the technological and organisational shifts that accompanied this phase of European expansionism. In July 1789 one of the defining events of European history occurred with the outbreak of the French Revolution. By 1792 the French naval officer corps had all but crumbled in the wake of the revolutionary upheavals and Europe was plunged into 23 years of intense, almost non-stop warfare. During this time the impact of the revolution was felt not just in Europe but in South America and the Caribbean as well. The independence and reform movements led to bloody civil wars in which navies played important, even decisive, parts. Some of these essays shed light on how states reacted to the demands of maritime and naval power before 1789. Others look at how naval commanders performed in the long wars that succeeded 1792. What they all show is that although there was a common understanding of how wars at sea should be fought, there were distinct dif- ferences between states and commanders as they had to respond to different conditions. There are clear comparisons at one level, but the contrasts are just as informative. 6 Naval Leadership in the Atlantic World What they also confirm is that the concern for leadership has been with us for centuries. The twenty-first century is not breaking new ground. The prac- tice of leadership may be different and some of the reasons for this emerge from the essays, but the problems faced by societies and nations have a great deal in common and navies as tools for solving those problems are also much the same. The ‘modern’ naval problem of inter-state rivalry, which is again rais- ing its head across the world, dominated the state decision-making processes for navies in the eighteenth century. The ‘post-modern’ naval problems of our world, from economic security, piracy and smuggling, to maintaining good order on the maritime commons and managing alliances, had their counter- parts in those eighteenth- and early nineteenth-century navies in an age of mercantilism.4 These essays take us away from the well-known world of the great sea battles of annihilation that are the culmination of great power rivalry to the death, and which dominated naval thinking from the 1880s to the end of the Cold War, to the variety of naval duties and operations that occur in those long periods of naval confrontation, which range from diplomatic flag or sabre waving to police actions, and upwards to low-intensity, regional conflict. There are many more dimensions to the problem of naval leadership which need to be explored. History never repeats itself and leadership is not a universal tech- nique or method of social control. The world is constantly changing, and as Western navies face growing regional and global challenges with fewer plat- forms and a greater need to work in partnership, they have, at the same time, to respond to national public perceptions of what navies do and how they do it. An understanding of how leaders behaved and how leadership was exercised is an important step in forming a better understanding of the role leadership plays in the life of navies. This collection started as a response to the questions and debates that had been stimulated during the bicentenary commemorations of Trafalgar. Central to that year of activities was Professor Colin White. Colin dedicated much of his life to the study of Nelson and he became a great enthusiast for spreading the word about Nelson and the naval history of his times to the wider public. Apart from the energy he displayed in organising and being part of a whole range of commemorative events, he produced a new edition of Nelson’s cor- respondence and a monograph reflecting on Nelson as an admiral.5 Although a great admirer of Nelson, he did not neglect the contributions of others to the great war at sea during these years. From the common seaman to the prob- lems faced by other navies, Colin was quick to point out they all needed to be understood. One of his characteristics was the welcome he gave to scholars of all nations to discuss and debate naval leadership of the period. His early death after becoming Director of the Royal Navy Museum Portsmouth (the precursor of the National Museum of the Royal Navy) was a sad loss to the subject. He would have been an enthusiastic contributor to these essays had he lived and it seems fitting that these essays are dedicated to his memory. Naval Leadership in the Age of Reform and Revolution, 1700–1850 7 A number of debts of gratitude have been incurred during this project. First, the sponsors of the original conference made it possible. These are the National Museum of the Royal Navy, the Society for Nautical Research, the 1805 Club, La Sorbonne et Musée national de la Marine, Paris, the Ministerio de Ciencia e Innovación, Madrid, the Consejo Superior de Investigacionnes Cienificas, Madrid, and the Gunroom, HMSSurprise.org. We are also grateful to all the contributors for developing their papers. Finally, we are very grateful for the patience of Andrew Lockett of the University of Westminster Press, who helped us bring it all together. CH A PT ER ONE The Royal Navy, History and the Study of Leadership Richard Harding University of Westminster Given the apparent ubiquity of interest in leadership today it is curious that the study of leadership has not featured more strongly as an explicit feature in naval history. This is not to suggest that it is entirely absent. In fact, we know a remarkable amount both about leaders and what leadership was expected to be. Throughout the ages, history has provided examples for emulation or warnings to avoid. Indeed, modern naval history emerged from a determina- tion to teach naval officers and statesmen the information and the principles it was thought would guide them as they assumed leadership roles. History was the discipline for the aspirant leader – and this explicit function is one factor that has led to the greater focus on leadership in modern navies than their sail- ing predecessors. After the First World War, other disciplines, such as psychol- ogy, economics and political science, with their ambitions, or claims, to pro- vide scientific predictability, began to assume the dominant role in leadership development, and historians, more acutely aware of the dangers of teleology and sensibly unwilling to delve into ‘psycho-history’, were generally disinclined to compete with their social science colleagues on this ground.6 Nevertheless, history remained an essential part of the cultural capital of naval officers and the biographical or autobiographical publications of senior officers provided How to cite this book chapter: Harding, R. 2017. The Royal Navy, History and the Study of Leadership. In: Harding, R and Guimerá, A (eds.). Naval Leadership in the Atlantic World. Pp. 9–17. London: University of Westminster Press. DOI: https://doi.org/10.16997/book2.b. License: CC-BY-NC-ND 4.0 10 Naval Leadership in the Atlantic World a constant institutional link to the past. Operational history from the point of view of the commander is a standard narrative approach. Similarly, institu- tional and political histories delineated by the reigns of monarchs, or the spans of particular office-holders, are also standard narrative tropes. In many ways, ‘history from the top’ is a history of leadership. Naval history is hugely popular and there are many implicit lessons for lead- ership in the stream of operational histories, memoirs and social studies that emerge every year. Leadership can be studied from many directions. ‘Who are the leaders?’ is a relatively well-researched question that is yielding excellent results. Naval history has benefited from the development of social and ethno- graphic approaches to organisations. We now have a better understanding of the social and political contexts, demographics and career trajectories of vari- ous naval officer corps.7 We still need to know much more, across chronological spans and, particularly, we need to know about the officers of other navies. If the assumption is that leaders make a difference to organisations, we need to know how those leaders differed in different navies and at different times. One of the significant contributions of the ‘new naval history’ of the second half of the twentieth century is that it has deepened our appreciation of the complex administrative, logistical systems needed for successful operations at sea. We also now have a better view of the totality of navies as institutions – how they have evolved to exercise an expanding sea power with ever more complex, interlinked and expensive weaponry. This has helped us appreciate the diffusion of leadership throughout systems that enable effective operations. Thus, what leaders do and what defines successful leadership has evolved. The social and institutional norms for recognising high-performing naval leaders in the eighteenth century were intimately tied up with successful action at sea. Administrative leadership was seen as important, but entirely secondary to the officer at sea. These norms seem to have continued largely unaltered over two centuries, despite the growing bureaucratic and industrial contribution to operational success.8 There are good reasons for this, as the concept of the ‘heroic’ leader was simultaneously blossoming with the growth of popular cul- ture and media.9 Nevertheless, the processes involved in assessing this evolving organisational leadership requirement and the popular understanding of the leader in the Royal Navy and other navies remain to be fully investigated. While historians have done a great deal to explore the complexity of naval organisations and establish the social structure of officers corps, there has been less sustained engagement with the idea of leadership as an historical phenom- enon. In some ways, naval historians, whose discipline emerged out of the demands for instructing leaders, are now less able to articulate an understand- ing of naval leadership than their social science colleagues. From the middle of the nineteenth century until midway through the twentieth, civilian organisa- tions learned a great deal about leadership from military organisations. Today, the reverse is more likely to be true. Given the huge changes in the challenges The Royal Navy, History and the Study of Leadership 11 faced by navies and the advances in leadership research, it is curious that lead- ership has not commanded more attention within navies and among naval his- torians. For example, we can now look at the late eighteenth-century Royal Navy as an institution that was qualitatively distinct from its rivals in terms of tactical proficiency, administrative capability, depth of supporting infra- structure and the strength of its linkage to domestic political culture. We can suppose that these made an operational difference, but we have not given the social function of leadership that much attention. Leadership seems to be an uncontentious phenomenon. After the resolution of the seventeenth-century friction between the relative merits of ‘gentlemen’ or ‘tarpaulin’ commanders, there seems to be a view that the naval officer corps evolved organically and incrementally, learning to adapt to growing tasks and burdens under the pres- sures of frequent wars until it reached its apogee in Nelson and his ‘Band of Brothers’.10 The years of peace and the decades of limited challenge to the Royal Navy left it in a weakened state. Reward, promotion, routines and procedures were no longer mediated by operational fleet action and the performance of the navy in the First World War reflected this.11 Within the navy there was a clear discomfort about the perceived inadequacy in its performance during the war. Very soon, attention was paid to the higher education of the senior officer corps, but it took until the early 1930s for significant changes in initial leader- ship development to take place.12 The Second World War did not throw up naval leaders with the profile of a Beatty in an earlier generation, or of military commanders like Montgomery. After the war, the experience of operations was integrated into the corporate memory of the officer corps, and the capability of the corps rose in conjunction with more scientific approaches to selection and promotion. Since 1990, in the absence of cold or hot war pressures, these scientific approaches, rigorous training and education (including some histori- cal studies) are now the baseline for understanding the capability of the navy’s officer corps. Overall, naval leadership has not produced the historical interest that has developed for army leadership, whether it is the revisionist conclusions about military command in the First World War or the relative performance of senior officers in the Second.13 This leaves a number of important questions open. For example, when so much of the material and operational context of the Royal Navy changed between 1689 and 1914, was naval leadership unchanging? Has naval leader- ship changed in response to the social changes of the twentieth century and if so, how and why, and what impact has it had on the navy? How did contempo- raries understand leadership and what attributes did they ascribe to successful leaders? If operational experience in war is such an important determinant of the capability of the officer corps, why did the Royal Navy not excel in the American War of Independence, when the officers in command during this war learned their trade during the most decisive and successful naval war of the century, under the eye of senior officers who had many years of operational 12 Naval Leadership in the Atlantic World experience?14 In which aspects of leadership did the navy excel and which were an Achilles heel? Does naval leadership differ from other types of leadership, particularly the leading of armies or other government organisations? Probably most important, was the leadership of the Royal Navy different from that in other navies at any point; if so, did it have an impact on the outcome of opera- tions and why? These are big questions, requiring a systematic approach to analysis and can- not be answered in the space of a single essay. However, I hope that looking at one aspect of leadership may make a useful contribution in linking the navy to the nation. As has been outlined above, leadership can be examined in terms of what leaders did, how they were expected to behave, what success or failure they experienced or what characteristics they are supposed to have possessed. Most studies of naval leaders are viewed from the perspective of the leader, through the medium of biographical or operational studies. Less common are studies that examine a leader in the social context of leadership. Yet all leader- ship is a social process that occurs within a complex environment that includes individuals who are leaders, followers, opponents and bystanders, all of whom are influenced by a wide range of stimuli. While the naval command decisions are in the hands of the leader, the interpretation and subsequent action are in the hands of the followers and the results are determined by the interac- tion between those actions and a wide range of variables in the environment. Furthermore, the evaluation of the quality of naval leadership is determined not by the leader but by others: the crew of a ship, the Admiralty, the mon- arch, Parliament, the public and even the wider global audience. Each of these may differ from the commander in their judgement of the action and there is no certainty that those judgements will be consistent. From the middle of the seventeenth century at the very latest, English (and then British) society was connected to the leadership of the navy. National support for the navy, and thus its naval leadership, expressed through Parliament, press and entertainments, was essential to its financial and social existence. This leads us to an important question that needs some sort of answer: given that British society changed so much over the period 1680–2000, and the importance of external social and political judgements of naval performance, why have naval historians paid so little attention to the changes in thinking about leadership over the past half century? Only the sketchiest of answers can be suggested here, but the follow- ing is offered as a starting point. At one level the answer is fairly obvious. The success of the Royal Navy over nearly 300 years suggests that whoever was leading that force was doing a good job. It was failure that prompted reflection on leadership performance, not suc- cess, and there was no need for theory development by contemporaries. For subsequent historians there was such a plethora of evidence showing how the Royal Navy materially and operationally outstripped its competitors that seek- ing additional causality in leadership – unless it was obviously exceptional The Royal Navy, History and the Study of Leadership 13 (such as with Hawke or Nelson) – was unnecessary. There was a seemingly natural, virtuous symbiosis in which quality of leadership was something that emerged from the successful application of seapower, which was, in turn, rein- forced by the quality of the leaders it bred. However, beneath this there was another assumption: that leadership capa- bility was an innate personal attribute that could be developed by imitating the great and good, but it was essentially God-given and, increasingly in the nineteenth century, the product of a gentlemanly upbringing. Christian con- cepts of providential interventions in response to human moral behaviours provided a strong philosophical basis for believing that failure was the result of moral weakness just as success reflected a virtuous character.15 The Enlighten- ment and Romantic focus on the human rather than the divine did not weaken this relationship between individual morality and success. Science contributed to a better understanding of the natural environment and thus better design and operations in maritime affairs.16 However, the individual’s efforts were still the major determinant of good fortune. The virtues of hard work and thrift mixed with evangelical ethics provided the basis for explaining the rise of humankind and more particularly the British. It was no part of the naval train- ing and education process to explore this linkage in depth, but to provide the opportunities for officers to demonstrate these virtues in leadership tasks. Even when the search for the underlying principles of naval war was embedded in naval higher education, the quest did not extend to leadership.17 Higher edu- cation focused on expanding the rational capability of the mind rather than moral development. Strategic judgement could be inculcated through the sci- entific study of history and war, allied to more technical disciplines to aid deci- sion-making.18 By the end of the nineteenth century, intellectual strength and knowledge developed by formal naval education, allied with moral strength fostered by an initial gentlemanly education, the professional example of past naval heroes and the practical experience of leading men in battle, provided the ideal environment for developing successful naval leadership. It was a formula that seemed intuitively right to a generation of naval officers who served in one or both of the world wars and it has barely been seriously questioned in his- torical studies.19 The assumptions could easily be read back into the eighteenth century.20 There is, therefore, a long tradition of consensus that naval leadership is a personal attribute and is highly developed by the organisational culture, its education, systems and practices so that the best get through to the higher lead- ership of the force. It is an institutional belief that is shared by other navies.21 While this consensus holds firm, there have been developments in other aca- demic fields. Historians have always plundered the intellectual fruits of other disciplines in order to help them develop insights into their own subjects. With leadership studies the plundering has generally been in the reverse. The two world wars provided plenty of examples for those studying leadership to popu- late their case studies. Military case studies continue to provide a selling point 14 Naval Leadership in the Atlantic World for the more popular end of the market. The result is not always satisfactory – a misunderstood situation applied to an irrelevant theory does no one any good. Nevertheless, there has been a substantial amount of theory development within leadership studies over the last 50 years which might enrich our his- torical understanding. For example, motivation theories have produced some interesting reflections on prize taking in the eighteenth-century Royal Navy.22 Where the lack of attention to leadership is most apparent is in the analy- ses of comparative naval power. In many histories, the differences in leader- ship are taken for granted, indeed embedded in a founding ideology. For over 250 years, a national myth of British difference, based on Britons’ relationship with the sea, was slowly created and entrenched in British thinking.23 The idea that Britain bred natural seamen and sea officers became a standard element in explaining the rise of British naval power.24 The difference between seamen such as Hawkins, Frobisher and Drake and their Spanish adversaries, who were primarily soldiers, forms an important part in the story of the Span- ish Armada of 1588. Similarly, the contrast between the experience of officers in the Royal Navy and those of the more obviously aristocratic-led navies of Bourbon France and Spain is important to the traditional story of the Brit- ish rise to naval hegemony by 1815. The fact that these differences existed has been well established, and there is an intuitive sense that such social dif- ferences could have been significant, but the impact of these differences on the performance of navies over spans of time has not been extensively stud- ied. Individual situations in which the impact of the quality of leadership is clear can be found, most obviously after the collapse of the French naval officer corps in 1790, but there are very few such clear-cut examples. Fur- thermore, there are other occasions when any assumption of superior leader- ship is less tenable. The leadership differences between the Dutch and British naval officer corps in the seventeenth century are less clear. United States and British officer corps have been extensively studied, but the operational impact of differences over 200 years are not transparent. The different trajectories of leadership development for the officer corps of most European navies over the nineteenth century are still seriously under-researched. Historically, the leadership assumptions in the Japanese and Chinese navies have not received much scholarly attention. Long-term success, an intuitively coherent ideology of seapower and the entrenched belief in the moral foundations of leadership, therefore, may be three reasons why naval leadership has not been of much interest to historians of the British public. Another factor might be the nature of networks that sup- port the Royal Navy. The navy, like any military force, exists within a network of contexts which impinge on its operational performance and the choices made by the leaders of this organisation. Broadly, one can see two immediate and two deeper, long-term elements of this network. The most immediate is the operational environment. Navies exist to fight or deter conflict. The operational The Royal Navy, History and the Study of Leadership 15 context is usually explicit and immediate with platforms, weapons and training directed to defeating the expected enemy. The second immediate element is the contemporary, domestic, political context. How the political system interprets naval power, what value it places on the costs and benefits produced by navies will have a direct impact on tangible factors, such as budgets and rewards, as well as intangible factors like definitions of success. However, beneath these two immediate elements, there are others: the insti- tutional and social. All organisations, including navies, are the product of accu- mulated experience. The Royal Navy is very aware of this experience and is aware of the experiences of other navies, both contemporary and historical. This creates an institutional environment within which the daily operational capability evolves. It produces the norms of behaviour, the structure within which doctrine is created and the deeper assumptions regarding the use of navies and naval power. The Royal Navy is one of the best-researched organisations in British history. This reflects not just the extent of the sources that are available to historians, but the strength of the navy as an institution in British society. It has been con- sciously involved in research for over a century and the fruits of that research have an enthusiastic audience. By writing the history, or dominating its writing, the navy contributes powerfully to what is considered to be good leadership. Naval history from a naval officer’s point of view was an important feature of early twentieth-century historiography. The result of this is that the navy has an important role in determining where leadership success and failure lie. A good example of history being written from a naval perspective is the work of Sir Herbert Richmond, a fine scholar with a strong and clear operational viewpoint that enabled him to discriminate between good and bad naval lead- ers, but distorted his judgement with regard to the civilian role in leadership decisions.25 One of the important features of new naval history has been to put the navy into the wider social framework to explain the logistical, political and economic dimensions of naval operations, but the systematic exploration of naval leadership has yet to be undertaken. Beyond this, there is the influence of wider society. The operational, institu- tional and political systems interact within society. The wider social and cul- tural norms help shape them, place parameters around decision-making and provide priorities or stimuli for trajectories of action. The new naval history is a manifestation of a wider public, in this case academic, participation in naval history. However, the public are not just the producers of naval history, they are a principal consumer. Naval history is written for the public more than it is for professionals. In the public mind the leader as hero is still the dominant model of naval leadership. While twenty-first-century navies are fully aware of the complexity of leadership in defence organisations, they are also aware of the role heroes play in public perceptions of the force and the need to present history and the navy in a heroic mould remains important.26 16 Naval Leadership in the Atlantic World Together, the operational, political, institutional and social contexts are con- stantly evolving, providing the background for public interest in the navy, naval history and leadership. Throughout the last 120 years, naval history has become richer and more varied, but has not led to a major focus upon naval leadership. Instead, leadership tends to emerge in relation to other features of naval history. The rapid operational changes after 1914 have attracted more attention than others. One of the truisms that emerges from this differential change process is that military organisations are always preparing to fight the last war. Leaders are the product of their experiences and training, and when the experience or training proves to be inappropriate for new operational situations catastrophe can result – the step change in technology or operational arts is one of the stock features of military history from the invention of gunpowder to Blitzkrieg. Consequently, the leaders of the Royal Navy and the decisions they made, fac- ing steam power in the second half of the nineteenth century, long-range gun- nery, new realities of competition, the submarine and air warfare in the next 50 years, have attracted a good deal of historical attention.27 From these studies there are good examples of both individuals and the naval institutional systems that have influenced leadership and decision-making. Much less attention has been paid to the years after 1945. It does not offer the drama of change, or operational stress. Yet the whole period from 1918 to the present day is a par- ticularly important field of study as it is marked by the rise of the profession of leadership development in Western society. Navies have not been immune from its influence, and understanding how institutions such as the Royal Navy have adapted and developed their understanding of leadership practice is a vital element in understanding their operational assumptions. The lack of interest in naval leadership in the twentieth century is in marked contrast to that related to the British army. Perhaps, despite all the changes between 1890 and 1939, the navy was able to deal with the challenges it faced with its institutional framework and philosophy undamaged. The same was not true for the British army, which had barely recovered from the experience of the Russian War (1854–6) when the shock of the Boer Wars (1880-1 and 1899–1902), the First World War and the adjustments to a peace in which its purpose was unclear, raised a succession of leadership questions to which the answers were ambiguous at the time and remain contested to the present day.28 It was also a period when the very nature of leadership and management in modern British society was being questioned and debated.29 During the whole period, the Royal Navy remained a powerful institution. It had not won another Trafalgar, but it had won the war at sea and there were few existential doubters. Nevertheless, there remains a need to explore the leadership assumptions of the Royal Navy against the debates and changes that were going on elsewhere. The lack of analysis is even more true for earlier centuries. The period 1815 to 1890 was a time of major technological changes that entailed social and institutional adjustment against a background of extensive operational activity The Royal Navy, History and the Study of Leadership 17 but little military threat. The navy has been placed firmly in the context of the administrative changes of the time. It was a period in which the ‘expert’ – technical or bureaucratic – became far more influential in the decision-making processes of governmental bodies. So far not much attention has been paid to this and a thorough modern, comprehensive analysis of the leadership assump- tions, values, training and rewards of officer corps has still to be written.30 The period between 1739 and 1815 was one of major operational and military threat. The Royal Navy emerged victorious and without parallel in the world. Our understanding of the logistical and administrative effort that underpinned this naval triumph is now quite extensive and the diffuse nature of the leader- ship required for this massive, complex exercise of naval power is better under- stood. However, there has been far less critical attention paid to the exercise of operational leadership. Possibly the dominance of Nelson as leader and per- sonification of an ideal has done much to shape assumptions about leadership and leaders. It was a period in which the Royal Navy was consolidating as an institution – not just an organisation. By 1815 it was an institution with a politi- cal presence in the wider social environment, a culture of its own, respected internally and externally, on a journey of centralised control through which leaders and leadership could be controlled and shaped. It was not always like this and the process by which this happened, particularly in the first half of the century, is still in need of substantial research. What impact the changing intellectual environment, commonly known as the Enlightenment, had on the leadership of the navy is currently unknown. Once again, we know rather more about how this influenced armies than we do about the Royal Navy.31 The purpose of this paper has been to lay out some possibilities for the future study of naval leadership – primarily in the national context of the Royal Navy. Leadership has always been an implicit element in naval histories and there is now much excellent work about the social and intellectual origins of the officer corps and the performance of individual officers. However, given the chrono- logical opportunities and importance of leadership as a variable in operational success or failure, there is a need for a more systematic study. The assumptions about virtuous symbiosis of naval leadership and seapower, between combat experience and leadership or between national connections and naval leader- ship all need to be explored in more detail – all the more so as the exercise of seapower becomes more tenuous, the opportunities for operational experience diminish and the national connection with the navy becomes more opaque. It is a subject that is in need of serious attention and a vital element of this is to understand comparative naval leadership. Although this paper has focused on the nation and the navy, we will only really begin to understand how naval leadership works when we can see it operating across nations and time spans. It is an exciting agenda. PA RT TWO Naval Leadership in the Ancien Régime CH A PT ER T WO Leadership Networks and the Effectiveness of the British Royal Navy in the Mid-Eighteenth Century Richard Harding University of Westminster It is difficult to conceive of the history of naval warfare being researched, dis- cussed or taught without the idea of leadership emerging at some point in the process. Surviving on the sea, let alone fighting in ships, demands consistent collaborative action among those who undertake it. For a ship to move and fight, it requires individuals to apply their efforts in precise conjunction with their colleagues, and for this to happen the effort has to be coordinated and directed by someone recognised in that role. The importance of the leadership role or roles in this confined and hazardous environment has been enshrined in the rules conferring legal status and responsibilities since the Middle Ages.32 These laws recognised the limits of authority, the need to consult others and the consequences of negligence or incompetence as well as defining the power of the master. They were distinct from the rules concerning the command of soldiers on the ships. However, in the 200 years between the 1490s and 1700, as the ship at war transformed from what was essentially a transport for soldiers into a formidable gun platform to be fought with in its own right, the separate leadership roles of the ‘master’ (commanding the seamen and navigation) and How to cite this book chapter: Harding, R. 2017. Leadership Networks and the Effectiveness of the British Royal Navy in the Mid-Eighteenth Century. In: Harding, R and Guimerá, A (eds.). Naval Lead- ership in the Atlantic World. Pp. 21–34. London: University of Westminster Press. DOI: https://doi.org/10.16997/book2.c. License: CC-BY-NC-ND 4.0 22 Naval Leadership in the Atlantic World the ‘captain’ (commanding the soldiers and the fighting function) had to merge and, in the process, became a matter of serious concern. Although the primacy of the combat role and thus the captain has been recognised since the Mid- dle Ages, ensuring land officers had adequate navigational and ship-handling skills was beset by operational, social and cultural obstacles which were never entirely resolved in Europe during the eighteenth century.33 The evolution of this professional competence of naval officers is a complex story and this paper only concerns itself with one aspect of this – the lead- ership exercised by flag officers in the Royal Navy before 1789. Much of our understanding of naval leadership has been shaped by the popular and pro- fessional naval histories that were published between 1890 and 1914. In these years, naval history was written with an explicit didactic purpose of educating the public, servicemen and statesmen about the importance of naval power and the means to exercise it. It was particularly the history of the naval wars against France, from 1793 to 1815, that formed the core of this history. These wars brought about the oceanic Pax Britannica of the next 70 years. During the nineteenth century navies changed dramatically, but the ideal of leadership that was abstracted from the campaigns of the French wars remained the model. The ideal naval officer for navies everywhere was Horatio Nelson (1758–1805). Nelson was a remarkable, outstanding leader and commander. His dedication to duty, his bravery and success in battle left little to be desired or explained. ‘The Nelson Touch’ was a semi-mystical sensitivity to what it was possible to achieve with one’s own squadron against the enemy that succeeding genera- tions of officers were expected to emulate. Nelson encapsulated leadership of the heroic kind that became the frame of reference for naval officers and the measure against which historians would judge them. The consequence of this is that in most naval histories, the question of lead- ership is unproblematic. The benchmark is clear and the officers under exami- nation are at some point on a continuum between good and bad that could be determined by their operational performance compared to Nelson or the way in which their command reflected the Nelsonic attributes. In more recent naval histories the nature and context of that leadership is more nuanced. Historians are more sensitive to the demands of leading naval forces in the complex, changing, multi-dimensional battle spaces of the period post-1939. While this sensitivity to near-contemporary environmental complexity is considered important, the same cannot be said of the naval history that pre- cedes the wars of 1793–1815. There is the temptation to infer that before the demands of industrialised warfare, there was a golden age of naval leader- ship in which everything was clearly defined. Nelson and his contemporaries eventually produced a dominance at sea that was unprecedented, but they did not live in a world of certainty in which command and leadership were uncomplicated. However, their tremendous success, and particularly the clar- ity with which Nelsonic attributes were subsequently distilled and p resented Leadership Networks and the Effectiveness of the British Royal Navy 23 by historians as causal factors of that naval dominance, has deflected from serious consideration of how leadership worked in the period before the French Revolution. There are a number of questions concerning leadership that have not yet been fully absorbed into the realm of historical analysis. Scholars in other disciplines have been trying to understand leadership for decades. Leadership has been seen as a set of tasks or functions that are carried out more or less effectively. It has also been seen as a set of personal attributes which leaders possess in different proportions and quantities. It is not possible to construct experi- ments in which the absence or presence of a leader (with known attributes and functional capability) is the only variable, and attempts to establish historically the precise contribution of either the leadership functions or qualities to the outcome of any specific operational activity have proved impossible. Similarly, attempts to identify a successful outcome and then infer the leader’s contribu- tion to this success are plagued by distortions of reporting, lack of information and a multiplicity of other variables. For example, it is commonly understood that it is the followers who achieve the result for the leader, but they are not passive automata responding to the leader’s will. What the followers inject into any operation is unpredictable and often neglected. The immediate operational context will influence the leader and the willingness of the followers to be led, but this is often relegated to a factor that is assumed to be under the control of the leader. This post-facto attribution of leadership qualities to the victori- ous commander makes the quality of leadership dependent upon the outcome rather than vice versa. With these debates surrounding the study of leaders and leadership, and the centrality of the subject to naval history, it is surprising how little attention naval historians have paid to the question of leadership at all levels.34 This paper aims to lay out a few thoughts for bringing a closer study of leadership into the study of command in the eighteenth century. Informing this discussion is another set of debates underutilised in the realm of naval history, that of network analysis and decision theory. Since the 1960s, historians of technology and international relations have been working on influencing networks in deci- sion-making. From developing nuclear weaponry to managing international crises, analysing the different role of influencers has informed historical judge- ments.35 These works hold additional interest for historians of naval leadership. As Spinadi’s study of the development of the Polaris missile suggests, Admiral Arleigh Burke’s ability to convince the networks of decision-makers about his definition of success for the project was as important to the eventual develop- ment of the family of Fleet Ballistic Missiles as the engineering achievement itself. While network analysis is established in the study of post-1945 naval his- tory, it is not commonly applied to earlier history. There seems to be no reason why this should be so, and the following is an attempt to shed some light on the historical context facing British admirals in the eighteenth century. 24 Naval Leadership in the Atlantic World Gross Quantity and Quality of Naval Force Professional Leadership Network Leaders Followers Administrative Network Political/Social Context Network Leaders Followers Leaders Followers Context Context Maritime, Financial and Fiscal Resources Fig.1: A simple network of influence on naval power. A very simple network of influence on naval power is set out below.36 A network consists of a connected group of people. They exist within a context that unites or distinguishes them from others, and many networks may overlay one another in the social environment under investigation. We are interested in the exercise of naval power and for our purposes it is possible to identify at least three significant networks that are critical to its generation in Britain during the eighteenth century. It is assumed that naval power rests on the abil- ity to convert maritime, financial and fiscal resources into naval assets. These resources may exist in a society, but their conversion to naval assets is a social and political process that requires at least these three primary networks to be working effectively – the political/social network, the professional naval net- work and the administrative network. Individuals overlap by being in all three of these networks, but it is the concerted action of the networks as a whole that enables the effective channelling of resources into naval power. Just from this very crude framework, one can imagine the possible channels and potential blockages. The political/social network that linked Court, Parliament and the wider political community was the context in which the political battle for the financial and fiscal resources was fought and generally won. The administra- tive network provided the direction and structures within which ships, stores and manpower were brought together. They also had to link to the political/ social network of contractors for all kinds of stores, manpower and even the building of the ships themselves for much of the period. The professional naval network had to take these weapons and employ them to effect in battle or on campaign. Together they generate the quantity and quality of fighting ships Leadership Networks and the Effectiveness of the British Royal Navy 25 Political/Social Political/Social Network Net Effective Network Naval Power Maritime, Enemy Financial Maritime, Professional Enemy Professional and Fiscal Financial Leadership Network Leadership Network Resources and Fiscal Resources Administrative Network Administrative Network Fig. 2: Net effective naval power. that are available at any given time and place (the gross quantity and quality of naval force). However, this is, at best, only half of the situation. Similar networks were at work generating the enemy’s naval forces and its gross naval force. Relative, or net, seapower can be said to emerge from the opposition of these naval powers. Warfare is a dynamic environment in which the networks are in a state of flux, stimulated by and stimulating the progress of a campaign. Seen in this way, it becomes clearer how complex the issue of leadership and followership can be. Leaders and followers interact constantly at different levels within their own networks and they influence other networks. Their effectiveness alters relatively and absolutely as a result of these interactions. The idea of the single controlling will bringing about victory or causing defeat becomes less compelling when viewed from this perspective. Only very rarely would an individual be so dominant across all the contributing networks as to become the sole author of the result. However, to conclude that the leader is irrelevant is equally unconvincing when one looks at these networks in opera- tion. Below is a simple leadership network within which Nelson operated dur- ing his years of greatest triumph, 1798–1805. In this illustration the squadron commander, Nelson, sits at the centre of a series of networks, all of which he influenced and had influence on him. In 1805 he was strongly connected and supported by his professional community, represented here by Lord St Vincent. Similarly, he was well connected to the civil administration of the navy, represented by Lord Barham, the First Lord of the Admiralty. Nelson was also connected (and supported by his professional standing) with his captains and the crews of his ships in his squadron. By 1805 Nelson was also strongly connected to the social and political networks (repre- sented here by the Prime Minister William Pitt). However, these networks were not static: they varied and the strength of the ties between them varied continu- ously as a result of changes within them (new leaders, new priorities, new tasks etc.) and as a result of other networks of factors that influenced the connections. For example, the connections that bound Nelson to his professional community and the civil administration were strongly influenced by traditions of command,
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